DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

P••••••• C•••••• A•••••••• I•••

Former SEC-registered adviserOklahoma City, OklahomaCRD 115758SEC 801-66961IAPD
Latest filing Mar 26, 2024
First filing on the tape Mar 1, 2012 · 30 filings
RAUM
$589M
reported, Item 5.F
Discretionary
25%
of RAUM
Private clients
26%
$153M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
15 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$589M as of Mar 26, 2024
Mar 1, 2012$175M then
HNW client RAUM$84.5M as of Mar 26, 2024
Mar 30, 2018$52.0M then
State-registered IARs (5.B.3)0 as of Mar 26, 2024
Mar 1, 20120 then
Employees (5.A)17 as of Mar 26, 2024
Mar 28, 201318 then
Private funds: no history
RAUM +14% over the last fiscal year+8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$518,214derivedHNW RAUM over HNW clients
Average account
$911,123derivedRAUM over accounts (5.F.2.f)
Discretionary
25%derivedof RAUM
Institutional
2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-3.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$170MreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$381M69%
  • High-net-worth individuals$84.5M15%
  • Individuals$68.8M13%
  • Charitable organizations$14.7M2.7%
Individual clients
428reported
HNW clients
163reported
Pension plan clients
0reported
Charitable clients
10reported
Accounts
646reported
Financial planning clients
0reported
Wrap fee programs
$170M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P•••••••• T•••••••• S•••••••• · President, Chief Compliance Officercontrol
      since 02/1990 · owns less than 5%
    • C••••• K••••• L••••••• · Secretary
      since 01/2019 · owns less than 5%
    • P•••••• R••••••• W••••• · Owner
      since 04/2023 · owns 25% to 50% of F•••••••• S••••••• H•••••••• L••
    • R•••••••• M••••••• M••• · Owner
      since 04/2023 · owns F of F•••••••• S••••••• H•••••••• L••
    • T••••• J••••• J••• · Owner
      since 04/2023 · owns F of F•••••••• S••••••• H•••••••• L••
    Entity owners
    • F•••••••• S••••••• H•••••••• L•• · Sole Shareholder
      direct · owns 75% or more
    • J•••• T•••• I••••••••• T•••• · Owner
      indirect · owns 50% to 75% of F•••••••• S••••••• H•••••••• L••
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Duncan, Ok000
    Oklahoma City, Ok · principal000
    Rio Rancho, Nm000
    Offices
    Schedule D 1.F, the 25 largest
    • Duncan, OK1 employees
    • Rio Rancho, NM1 employees
    • Tulsa, OK1 employees
    What changed
    consecutive filings, newest first
    • Charity clients · 9 to 10
      Jul 25, 2023 to Mar 26, 2024
    • HNW clients · 161 to 163
      Jul 25, 2023 to Mar 26, 2024
    • Individual clients · 451 to 428
      Jul 25, 2023 to Mar 26, 2024
    • Pension plan clients · 1 to 0
      Jul 25, 2023 to Mar 26, 2024
    • Discretionary RAUM · $135M to $145M
      Jul 25, 2023 to Mar 26, 2024
    • HNW RAUM · $76.7M to $84.5M
      Jul 25, 2023 to Mar 26, 2024
    • Individual RAUM · $70.7M to $68.8M
      Jul 25, 2023 to Mar 26, 2024
    • Non-discretionary RAUM · $379M to $443M
      Jul 25, 2023 to Mar 26, 2024
    • Pension RAUM · $22,857 to $0
      Jul 25, 2023 to Mar 26, 2024
    • RAUM · $515M to $589M
      Jul 25, 2023 to Mar 26, 2024
    • Wrap assets (sponsor) · $164M to $170M
      Jul 25, 2023 to Mar 26, 2024
    • Accounts · 347 to 646
      Mar 31, 2022 to Mar 29, 2023
    • Charity clients · 11 to 9
      Mar 31, 2022 to Mar 29, 2023
    • Corporate clients · 4 to 5
      Mar 31, 2022 to Mar 29, 2023
    • HNW clients · 145 to 161
      Mar 31, 2022 to Mar 29, 2023
    • Individual clients · 432 to 451
      Mar 31, 2022 to Mar 29, 2023
    • Other offices · 5 to 3
      Mar 31, 2022 to Mar 29, 2023
    • Discretionary RAUM · $144M to $135M
      Mar 31, 2022 to Mar 29, 2023
    • HNW RAUM · $88.4M to $76.7M
      Mar 31, 2022 to Mar 29, 2023
    • Individual RAUM · $74.7M to $70.7M
      Mar 31, 2022 to Mar 29, 2023
    • Non-discretionary RAUM · $398M to $379M
      Mar 31, 2022 to Mar 29, 2023
    • Pension RAUM · $27,404 to $22,857
      Mar 31, 2022 to Mar 29, 2023
    • RAUM · $542M to $515M
      Mar 31, 2022 to Mar 29, 2023
    • Wrap assets (sponsor) · $129M to $164M
      Mar 31, 2022 to Mar 29, 2023
    • Accounts · 590 to 347
      Apr 1, 2021 to Mar 31, 2022
    • Advisory employees · 14 to 15
      Apr 1, 2021 to Mar 31, 2022
    • BD registered reps · 18 to 17
      Apr 1, 2021 to Mar 31, 2022
    • Charity clients · 9 to 11
      Apr 1, 2021 to Mar 31, 2022
    • HNW clients · 133 to 145
      Apr 1, 2021 to Mar 31, 2022
    • Individual clients · 422 to 432
      Apr 1, 2021 to Mar 31, 2022
    • Pension plan clients · 4 to 1
      Apr 1, 2021 to Mar 31, 2022
    • Employees · 18 to 17
      Apr 1, 2021 to Mar 31, 2022
    • Discretionary RAUM · $110M to $144M
      Apr 1, 2021 to Mar 31, 2022
    • HNW RAUM · $73.0M to $88.4M
      Apr 1, 2021 to Mar 31, 2022
    • Individual RAUM · $62.2M to $74.7M
      Apr 1, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $347M to $398M
      Apr 1, 2021 to Mar 31, 2022
    • Pension RAUM · $369,377 to $27,404
      Apr 1, 2021 to Mar 31, 2022
    • RAUM · $456M to $542M
      Apr 1, 2021 to Mar 31, 2022
    • Wrap assets (sponsor) · $104M to $129M
      Apr 1, 2021 to Mar 31, 2022
    • Accounts · 493 to 590
      Oct 22, 2020 to Apr 1, 2021
    Signals
    15 dated events
    • J••• S••• H••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-06-15)
      Jun 28, 2024 · Advisor changed firm · fact
    • P••••••• M•••• B••••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-06-14)
      Jun 28, 2024 · Advisor changed firm · fact
    • A••• W••• C••••••••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-06-14)
      Jun 28, 2024 · Advisor changed firm · fact
    • D•••• C•••• P••• M•••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-06-15)
      Jun 28, 2024 · Advisor changed firm · fact
    • K•••• L••••••• C•••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-07-02)
      Jun 28, 2024 · Advisor changed firm · fact
    • T•••• L••••• S•••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-06-15)
      Jun 28, 2024 · Advisor changed firm · fact
    • T••• D•••• B•••••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-06-14)
      Jun 28, 2024 · Advisor changed firm · fact
    • W•••••• J••• H••••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-06-14)
      Jun 28, 2024 · Advisor changed firm · fact
    • W•••• J• R••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2025-01-01)
      Jun 28, 2024 · Advisor changed firm · fact
    • A•••••• J••• P•••••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-06-14)
      Jun 28, 2024 · Advisor changed firm · fact
    • E••• W•••• D•••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-06-15)
      Jun 28, 2024 · Advisor changed firm · fact
    • C••••• E••••• F••••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-07-01)
      Jun 28, 2024 · Advisor changed firm · fact
    • M•••••• M• R••••••• left P••••••• C•••••• A•••••••• I••• for T••••••• S••••••• A••••••• (registered 2024-06-14)
      Jun 28, 2024 · Advisor changed firm · fact
    • P••••••• C•••••• A•••••••• I•••'s advisors moved to T••••••• S••••••• A••••••• (Oklahoma City, OK): 12 of 13 registered, on the same day
      Jun 28, 2024 · Firm absorbed (people side) · derived
    • P••••••• C•••••• A•••••••• I••• reported 5 offices beyond its principal office, down from 11 (2019-05-28 to 2020-03-31)
      Mar 31, 2020 · Office count change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026